0001437749-21-000256.txt : 20210106 0001437749-21-000256.hdr.sgml : 20210106 20210106160229 ACCESSION NUMBER: 0001437749-21-000256 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210103 FILED AS OF DATE: 20210106 DATE AS OF CHANGE: 20210106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mullen Michael A CENTRAL INDEX KEY: 0001694509 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12629 FILM NUMBER: 21510452 MAIL ADDRESS: STREET 1: 410 PARK AVENUE, 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NATIONAL HOLDINGS CORP CENTRAL INDEX KEY: 0001023844 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 364128138 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 200 VESEY STREET STREET 2: 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10281 BUSINESS PHONE: 212-417-8000 MAIL ADDRESS: STREET 1: 200 VESEY STREET STREET 2: 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10281 FORMER COMPANY: FORMER CONFORMED NAME: OLYMPIC CASCADE FINANCIAL CORP DATE OF NAME CHANGE: 19960927 4 1 rdgdoc.xml FORM 4 X0306 4 2021-01-03 0001023844 NATIONAL HOLDINGS CORP NHLD 0001694509 Mullen Michael A 200 VESEY STREET, 25TH FLOOR NEW YORK NY 10281 1 1 CEO and Chairman of the Board Common Stock 2021-01-03 4 M 0 78125 A 457469 D Restricted Stock Units 2021-01-03 4 M 0 78125 0 D Common Stock 78125 960833 D Each restricted stock unit converted into one share of National Holdings Corporation (the "Company") common stock Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. On January 3, 2017, the reporting person was granted 625,000 restricted stock units. Fifty percent of these restricted stock units vest in four equal annual installments beginning January 3, 2018. Vested shares will be delivered to the reporting person annually in accordance to the vesting delivery schedule. /s/ Giovanni Castellanos Attorney-in-Fact for Michael A. Mullen 2021-01-06